Events: Arizona - Phoenix - Scottsdale
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Event
- Title:
- Scottsdale Investment Adviser Compliance Symposium
- When:
- 06.04.2019 07.30AM - 04.15PM
- Where:
- The Royal Palms Resort - Phoenix
- Category:
- Networking Events
Description
A Solid Foundation in the Investment Advisers Act of 1940
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. Instructors will detail certain Advisers Act’s key sections, Form ADV and performance and advertising, and will share insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. On day 3, courses are designed to give participants added opportunities to appreciate the nuances of the compliance profession through group discussions and interactive elements that highlight professional ethics, soft skills most useful in the compliance profession, and SEC examination and enforcement trends.
More information can be found here.
